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Compliance Officer

Compliance Officer

Posted by Hound
Posting ads for 9 years
Location: New York, NY

Job Responsibilities and Requirements : Assist with specific Compliance projects and goals as required. At least 5 years of business experience in the finance industry and at least 3 years compliance (and/or legal) experience within asset management or the broker/dealer industry (or other securities related businesses). Knowledge and expertise of legislations, regulations and industry rules relating to asset management and/or broker/dealer business. Solid working knowledge of securities. Experience in dealing with off shore funds is preferable. Very strong and effective language skills in both Japanese and English written and verbal. Must be able to handle meetings/conference calls in English. Articulate, effective communication skills within the organization (locally and globally) and with external parties.

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